Posts Tagged ‘RIAs’
Client Alert: New York Adopts Revised Regulations for Individuals of Registered Investment Advisers
OVERVIEW In an effort to modernize its registration function, to better conform to the federal securities registration regime, to cure industry confusion as to certain registration requirements and to better track exam requirement compliance of thousands of investment adviser representatives (“IARs”) providing investment advice to New Yorkers, the New York Investor Protection Bureau of the…
Read More
